I am writing to you regarding the government overreach that is FINRA #22-08. As an investor I expect that I should be able to make public investments without interference from the government. I understand it is my responsibility to educate myself on prospective investments and I don't expect to have to jump through government imposed hoops in order to do so. I urge you to not move
Taking away our own investment choices and control over our investments is wholly contrary to a free market and is against the founding fathers cardinal rule of Govt interfering with our freedoms. We know the risk. We assume the risk. I study the risks intently before investing. Stop government interference in free market capitalism and our freedoms or the snake will strike
This rule should not be allowed to pass. It further infringes upon retail investors rights and access to free and fair markets. By limiting access to markets by tests that traders must pass or limiting to high wealth individuals is discrimination against all investors in a free market. This discrimination against the people who have 401k, ira, investments only will surve to hurt the people not
• Conversion or Improper Use of Funds or Securities
• Forgery and/or Falsification of Records
Conversion or Improper Use of Funds or Securities
FINRA Rules 2010 and 21501, and NASD Rule 2330 and IM-2330
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
(a) Military Installations
For purposes of this Rule, a "Military Installation" shall mean any federally owned, leased or operated base, reservation, post, camp, building or other facility to which members of the U.S. Armed Forces are assigned for duty, including barracks, transient housing and family quarters.
(b) Disclosures
A member engaging in sales or offers of sales of
(a)(1) Unless otherwise permitted by FINRA, a capital acquisition broker must suspend all business operations during any period in which it is not in compliance with applicable net capital requirements set forth in SEA Rule 15c3-1.
(2) FINRA may issue a notice pursuant to FINRA Rule 9557 directing a capital acquisition broker that is not in compliance with applicable net capital
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from August 31, 2021, to December 31, 2021.
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Executive Summary
The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
Continuing Membership Guide - Frequently Asked Questions
TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
